Summary
Overview
Work History
Education
Skills
Professionalaccomplishments
Certification
References
Timeline
Generic

Rachael Curtis

Houston,TX

Summary

Detail-oriented examiner with expertise in conducting thorough assessments and evaluations. Proven ability to analyze data, identify patterns, and deliver actionable insights that drive growth and improve processes. Strong analytical, communication, and problem-solving skills ensure rigorous and impartial examination practices. Aiming to contribute to organizational success through meticulous evaluation and strategic oversight.

Overview

21
21
years of professional experience
1
1
Certification

Work History

Senior Compliance Examiner, Branch Exams

Corebridge (Formerly AIG)
10.2023 - Current
  • Prepare and conduct comprehensive OSJ and NRL branch examinations, including generating and analyzing various reports, conducting pre-examination research, and scheduling and discussing exam expectations.
  • Draft and issue high-quality examination reports on time, and review findings with branch management and broker-dealer leadership.
  • Educate supervisory principals, wholesalers, and support staff on various industry rules, regulations, and firm policies.
  • Interpret the firm's Written Supervisory Procedures, FINRA manual, FINRA Notices to Members, compliance notices, and other publications concerning broker/dealer regulation.

Senior Compliance Analyst, Privacy Team

Corebridge (Formerly AIG)
01.2021 - 10.2023
  • Responsible for responding, researching, and reporting time-sensitive privacy risk incidents in the U.S., the U.K., and Ireland.
  • Management of the L&R DNC database, quarterly data quality for digital entities, and TCPA state-specific compliance exemptions.
  • Organize quarterly new-hire and annual all-employee HIPAA training, and confirm completion rates.
  • Respond to CCPA requests and CA opt-out requests.

VP, Retail Banking Group Manager

Guaranty Bank
09.2018 - 06.2020
  • Responsible for recruiting, hiring, coaching, developing, and supervising Retail Banking Center Managers.
  • Oversees the management and success of five banking centers and thirty employees in service, sales, and operations.
  • Work with the Director of Sales and Service to set direction for the Retail team, including goal setting and sales strategies.

AVP, Banking Center Span Manager

Guaranty Bank
02.2013 - 09.2018
  • Facilitate the management of daily operations and customer experience at multiple branch locations.
  • Worked with banking center teams to expand the bank’s presence in each community.
  • Successfully mentored assistants for promotion into management roles within the organization.

Banking Center Officer

Guaranty Bank
07.2004 - 02.2013
  • Led by example to create a positive and engaging environment to maximize employee productivity and goal attainment.
  • Ensure customer satisfaction while maximizing customer retention, and expanding new and existing relationships.
  • Accountable for the training and development of retail staff on bank protocol and operational processes

Education

Bachelor of Arts - English Literature

University of Nebraska
Lincoln
05-1998

Skills

  • Driven Self-Starter
  • Dedicated Work Attitude
  • Effective Time Management
  • Relationship Building
  • Effective Communication
  • Creative Problem Solving
  • Collaborative Team Management
  • Coaching and Mentoring
  • Deadline Management
  • Strong Detail Orientation

Professionalaccomplishments

  • MBA Leadership Class, 08/2019 - 05/2020
  • Missouri Women Bankers, 08/2017 - 05/2019
  • Leadership Ranch Group Facilitator, 08/2016 - 05/2020
  • North Springfield Betterment Team, 01/2004 - 12/2017
  • Top Sales Production in Region, 01/2004 - 12/2022

Certification

  • Series 6
  • Series 26
  • Series 63

References

References available upon request.

Timeline

Senior Compliance Examiner, Branch Exams

Corebridge (Formerly AIG)
10.2023 - Current

Senior Compliance Analyst, Privacy Team

Corebridge (Formerly AIG)
01.2021 - 10.2023

VP, Retail Banking Group Manager

Guaranty Bank
09.2018 - 06.2020

AVP, Banking Center Span Manager

Guaranty Bank
02.2013 - 09.2018

Banking Center Officer

Guaranty Bank
07.2004 - 02.2013

Bachelor of Arts - English Literature

University of Nebraska

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